Regulatory Reporting- Analyst 3

We are seeking a detail-oriented and compliance-driven individual to join our Regulatory Reporting team within Wealth Management Operations. This team is responsible for ensuring accurate timely and complete reporting of equity and options transactions to regulatory bodies such as FINRA and the SEC. The role is critical in maintaining the firms reputation mitigating regulatory risk and supporting operational excellence.

In the Operations division we partner with business units across the Firm to support financial transactions devise and implement effective controls and develop client relationships. This is an Analyst level position level position within the Core Services which is responsible for performing and managing product-agnostic and centralized operational services across several businesses and products.

Morgan Stanley is an industry leader in financial services known for mobilizing capital to help governments corporations institutions and individuals around the world achieve their financial goals.

At Morgan Stanley Baltimore we support the Firms global Technology Operations Risk Management Legal and Compliance Internal Audit and Finance divisions. Morgan Stanley has been rooted in the Baltimore community since 2003. Our talented and diverse team is one of the largest in the U.S. outside of our New York headquarters and home to industry leading cybersecurity innovation with multiple patents and awards. Our teams are relentless collaborators and creative thinkers fueled by their diverse backgrounds and experiences. Theres ample opportunity to move across the businesses for those who show passion and grit in their work.

Key Responsibilities:
> Prepare and submit regulatory reports for equities and options (e.g. CAT TRACE LOPR) in accordance with FINRA SEC and other regulatory requirements.
> Monitor daily trade activity to identify and resolve reporting exceptions mismatches and late filings.
> Collaborate with trading desks compliance technology and other operations teams to resolve escalated or complex reporting issues.
> Maintain up-to-date knowledge of market mechanics trading regulations and firm policies related to regulatory reporting.
> Perform detailed reconciliations of trade activity and regulatory submissions to ensure accuracy and alignment with internal controls and regulatory requirements.
> Support internal and external audits including preparing documentation and responding to inquiries from auditors and regulators.
> Participate in process improvements system enhancements and user acceptance testing for regulatory reporting platforms.
> Escalate trends process gaps or control issues that may require remediation or additional training. Qualifications
> Excellent communication skills both verbal and written.
> Demonstrated attention to detail and commitment to delivering high-quality compliant work.
> Ability to handle high volumes of data and reporting deadlines while maintaining professionalism and accuracy.
> Proven problem-solving skills with the ability to work independently and under pressure.
> Proficiency with Microsoft Office

What We Offer
> A collaborative and supportive team environment.
> Opportunities for career growth and professional development.
> A chance to directly impact the firms regulatory compliance and client experience in Wealth Management.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first doing the right thing leading with exceptional ideas committing to diversity and inclusion and giving back - arent just beliefs they guide the decisions we make every day to do whats best for our clients communities and more than 80000 employees in 1200 offices across 42 countries. At Morgan Stanley youll find an opportunity to work alongside the best and the brightest in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey offering some of the most attractive and comprehensive employee benefits and perks in the industry. Theres also ample opportunity to move about the business for those who show passion and grit in their work.

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Salary range for the position: $58000 and $62000 per year. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business units incentive compensation plan which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits including Medical Prescription Drug Dental Vision Health Savings Account Dependent Day Care Savings Account Life Insurance Disability and Other Insurance Plans Paid Time Off (including Sick Leave consistent with state and local law Parental Leave and 20 Vacation Days annually) 10 Paid Holidays 401(k) and Short/Long Term Disability in addition to other special perks reserved for our employees. Please visit to learn more about our benefit offerings.

Morgan Stanleys goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race color religion creed age sex sex stereotype gender gender identity or expression transgender sexual orientation national origin citizenship disability marital and civil partnership/union status pregnancy veteran or military service status genetic information or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).